The Mosaic Compliance Framework

Mosaic specializes in helping its clients develop industry-leading compliance programs to accompany their research initiatives. Mosaic has taken from the best practices of buy-side and sell-side firms to create a compliance tools that are best-in-class among independent research firms. Specifically, our compliance tools are used to help clients avoid conflicts between the fiduciary duties of their advisors and their research interests, and prevent the dissemination of confidential and/or material non-public information. To help our clients implement their compliance procedures, we have created a world-class technology platform and partnered with premier compliance consultants and law firms with expertise in research compliance.

Our compliance framework and tools are proprietary to Mosaic and are avalable upon request to Mosaic clients and advisors.